13F-HR filed by Tradewinds Capital Management, LLC
Tradewinds Capital Management, LLC filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-09-10, with 612 holding rows worth $122,504,000.
- Accession
- 0001616026-14-000003
- Filer
- CIK 1616026
- Filed
- 2014-09-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, 612 entries on the cover page, a total value of $122,504,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $122,504,000 with VALUE read as thousands by filing date, 13F file number 028-16264. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 100 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 37 | $3,000 | thousands by filing date | |
| ARCTIC CAT INC | 039670104 | COMMON STOCK | 50 | $3,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVESTMENTS | 76131N101 | COMMON STOCK | 215 | $3,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 1,500 | $3,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 152 | $3,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 210 | $3,000 | thousands by filing date | |
| TYCO INTERNATIONAL LTD | H89128104 | SHS | 62 | $3,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 143 | $3,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 235 | $3,000 | thousands by filing date | |
| SWIFT ENERGY CO | 870738101 | COM | 250 | $3,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 100 | $3,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 1,000 | $3,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U506 | RUSSIA ETF | 103 | $3,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 106 | $3,000 | thousands by filing date | |
| MARKET VECTORS ETF TR JR GOLD | 57061R544 | GOLD MINER ETF | 100 | $3,000 | thousands by filing date | |
| POWERSHARES CHINESE YUAN DIM SUM BOND | 73937B753 | COM | 125 | $3,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 20 | $2,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 6 | $2,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 20 | $2,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 10 | $2,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 14 | $2,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 42 | $2,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 102 | $2,000 | thousands by filing date | |
| VULCAN MATLS CO COM | 929160109 | Stock | 40 | $2,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 100 | $2,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 46 | $2,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 728 | $2,000 | thousands by filing date | |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 100 | $2,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 50 | $2,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 133 | $2,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 35 | $2,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 30 | $2,000 | thousands by filing date | |
| ALLEGHANY CORP DEL | 017175100 | COM | 6 | $2,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 35 | $2,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 118 | $2,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 64 | $2,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 105 | $2,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 75 | $2,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 100 | $2,000 | thousands by filing date | |
| OMNIVISION TECHNOLOGIES INC | 682128103 | COM | 100 | $2,000 | thousands by filing date | |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 167 | $2,000 | thousands by filing date | |
| DDR CORP | 23317H102 | COM | 121 | $2,000 | thousands by filing date | |
| STILLWATER MINING CO | 86074Q102 | COM | 200 | $2,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 184 | $2,000 | thousands by filing date | |
| LCA-VISION INC | 501803308 | COM | 450 | $2,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 150 | $2,000 | thousands by filing date | |
| Direxion Daily Gold Miners Bul | 25459Y389 | ETP | 75 | $2,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 23 | $1,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 32 | $1,000 | thousands by filing date | |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 141 | $1,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 440 | $1,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 15 | $1,000 | thousands by filing date | |
| ALLEGIANT TRAVEL CO | 01748X102 | COM | 12 | $1,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 200 | $1,000 | thousands by filing date | |
| TERADATA CORP DEL | 88076W103 | COM | 13 | $1,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 114 | $1,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 215 | $1,000 | thousands by filing date | |
| U S CONCRETE INC | 90333L201 | COM | 45 | $1,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 24 | $1,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 2,800 | $1,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 33 | $1,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 500 | $1,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 26 | $1,000 | thousands by filing date | |
| Lincoln National Corporat | 524901105 | COM | 20 | $1,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 24 | $1,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 133 | $1,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 200 | $1,000 | thousands by filing date | |
| Pentair Inc | H6169Q108 | PNR | 13 | $1,000 | thousands by filing date | |
| THE ADT CORPORATION | 00101J106 | COM | 31 | $1,000 | thousands by filing date | |
| LSI CORPORATION | 502161102 | COM | 57 | $1,000 | thousands by filing date | |
| ITT CORP | 450911201 | COM | 16 | $1,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 165 | $1,000 | thousands by filing date | |
| VCA ANTECH INC | 918194101 | COM | 25 | $1,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 35 | $1,000 | thousands by filing date | |
| EMULEX CORP | 292475209 | COM NEW | 200 | $1,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 35 | $1,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 1,000 | $1,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 146 | $1,000 | thousands by filing date | |
| EXELIS INC | 30162A108 | COM | 32 | $1,000 | thousands by filing date | |
| AOL INC | 00184X105 | COM | 19 | $1,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 45 | $1,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M563 | GUGG CRP BD 2015 | 48 | $1,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770V102 | COM | 33 | $1,000 | thousands by filing date | |
| SARATOGA RES INC | 803521103 | COM | 1,000 | $1,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 33 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EXELIXIS INC COM | 30161Q104 | Stock | 35 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL MTRS CO COM | 37045V100 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CINTAS CORP COM | 172908105 | Stock | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WESTERN UN CO COM | 959802109 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MICROVISION INC DEL | 594960304 | COM NEW | 313 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PIPER SANDLER COMPANIES | 724078100 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STARZ | 85571Q102 | COM SER A | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HARMONIC INC | 413160102 | COM | 32 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLACKBERRY LTD COM | 09228F103 | Stock | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVANTAX INC | 095229100 | COMMON STOCK | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STATE STREET | 78464A425 | EXCHANGE TRADED | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 36 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STERIS CORP | 859152100 | COMMON STOCK | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 55 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY INTERACTIVE CORP | 53071M880 | LBT VENT COM A | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EPIQ SYSTEMS INC | 26882D109 | COM | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COEUR MNG INC | 192108116 | *W EXP 04/16/201 | 31 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIVEDEAL INC | 538144304 | COM NEW | 105 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001616026-14-000003 | this filing | 2014-09-10 | acceptance time not in the bulk data set |